The Misconduct & Breach Reporting team (M&BR) is responsible for the assessment and escalation of reports of alleged misconduct and breach notifications received by ASIC from members of the public and regulated businesses. The role of the team is to assesses reports of misconduct relating to financial services, credit, corporate governance and insolvency as well as insider trading, continuous disclosure and market manipulation, for consideration of enforcement or other action which is critical to ASIC’s work in maintaining consumer confidence and market integrity.
- Respond to Freedom of Information requests
- Conduct research including legal research and prepare recommendations on a range of issues relating to the assessment of matters involving the Corporations Act and ASIC Act and other relevant legislation
- Prepare briefs and reports for ASIC to respond to representations and inquiries about handling of misconduct and breach reports for internal and external stakeholders such as Ministers, Members of Parliament, and Treasury
- Analyse complex and sensitive misconduct and breach reports and recommend appropriate regulatory responses in line with ASIC’s regulatory focus, policies and procedures
- Conduct reviews of ASIC’s initial handling of misconduct and breach reports, and managing communications with reporters of misconduct seeking reviews
- Contribute to the development of Misconduct & Breach Reporting’s policies, procedures, and practices to advance the group’s objectives and deliver business priorities and objectives within agreed timeframes
- Ensure the maintenance and accurate recording of several internal databases.
Qualification & Experience:
- Experience in processing freedom of information requests will be highly regarded.
- Tertiary qualifications in law
- Experience in interpreting legislation and applying processes and procedures.
- Experience in client service or case management or transactional experience in law or accounting.
- Experience presenting information to different audiences using business writing and verbal communication skills
Vacancy Type: Full Time
Job Location: Sydney, New South Wales, AU
Application Deadline: N/A